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SL

Stephen W. Lepera

SUSQUEHANNA FINANCIAL GROUP, LLLP
Bala Cynwyd, PA 19004-1122
Some features on this profile are disabled
CRD#: 5266501
SL

Professional summary

Stephen William Lepera, who also goes by Steve Lepera, is a registered financial professional currently at SUSQUEHANNA FINANCIAL GROUP, LLLP located in Bala Cynwyd, Pennsylvania.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 7 firms and has passed the Series 66, Series 63, Series 16, SIE, Series 87, Series 7, Series 6, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Lepera

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen William Lepera's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 8, 2016 - Present

SUSQUEHANNA FINANCIAL GROUP, LLLP

Office #1: 401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
BD
CRD#: 35865
Bala Cynwyd, PA
Past

April 14, 2015 - February 1, 2016

BNY ADVISORS

RIA
CRD#: 106108
KING OF PRUSSIA, PA
Past

April 14, 2015 - February 1, 2016

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA
Past

March 20, 2015 - April 1, 2015

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
HORSHAM, PA
Past

October 8, 2013 - March 17, 2015

BNY ADVISORS

RIA
CRD#: 106108
KING OF PRUSSIA, PA
Past

October 8, 2013 - March 17, 2015

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA
Past

February 28, 2013 - October 11, 2013

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
HORSHAM, PA
Past

June 29, 2009 - October 11, 2013

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
HORSHAM, PA
Past

September 16, 2008 - May 27, 2009

LINCOLN INVESTMENT

BD
CRD#: 519
WYNCOTE, PA
Past

February 7, 2007 - March 24, 2008

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(2/8/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/9/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/12/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 8/2/2023
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 3/12/2016
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 1/28/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/6/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/21/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/2014
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SF
SUSQUEHANNA FINANCIAL GROUP, LLLP
FOREST LANE SECURITIES, INC. | SUSQUEHANNA FINANCIAL GROUP, LLLP | SUSQUEHANNA FINANCIAL GROUP, L.P. | SUSQUEHANNA FINANCIAL GROUP, INC.

CRD#: 35865 / SEC#: , 8-44325

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Phone number
(800) 825-9550
Established
Delaware since 07/25/2002
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SFG HOLDING, LLCLIMITED PARTNER
DAMATO, DANIEL DAVID IIFINOP7430998
DANIELS, ETHAN SCOTTPOO5902179
KRASNICK, ALAN JONATHANMUNICIPAL SECURITIES PRINCIPAL4606571
MCENTEE, ROBERT FRANCIS JR.CHIEF COMPLIANCE OFFICER4722705
SFG PARTNER LLCGENERAL PARTNER
WOOD, NICHOLAS HPRESIDENT2626078

Disclosures

Regulatory Event12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865Bala Cynwyd, PA 19004-1122

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